Prosecution Insights
Last updated: July 17, 2026
Application No. 18/738,142

HEAT EXCHANGER ASSEMBLY

Non-Final OA §102§103
Filed
Jun 10, 2024
Priority
Mar 22, 2024 — provisional 63/568,627
Examiner
JOHNSON, BENJAMIN W
Art Unit
Tech Center
Assignee
General Electric Company
OA Round
1 (Non-Final)
62%
Grant Probability
Moderate
1-2
OA Rounds
1y 1m
Est. Remaining
99%
With Interview

Examiner Intelligence

Grants 62% of resolved cases
62%
Career Allowance Rate
305 granted / 492 resolved
+2.0% vs TC avg
Strong +45% interview lift
Without
With
+45.0%
Interview Lift
resolved cases with interview
Typical timeline
3y 2m
Avg Prosecution
37 currently pending
Career history
527
Total Applications
across all art units

Statute-Specific Performance

§101
0.2%
-39.8% vs TC avg
§103
81.2%
+41.2% vs TC avg
§102
6.2%
-33.8% vs TC avg
§112
12.1%
-27.9% vs TC avg
Black line = Tech Center average estimate • Based on career data from 492 resolved cases

Office Action

§102 §103
DETAILED ACTION The present application, filed on or after March 16, 2013, is being examined under the first inventor to file provisions of the AIA . Claim Rejections - 35 USC § 102 The following is a quotation of the appropriate paragraphs of 35 U.S.C. 102 that form the basis for the rejections under this section made in this Office action: A person shall be entitled to a patent unless – (a)(1) the claimed invention was patented, described in a printed publication, or in public use, on sale or otherwise available to the public before the effective filing date of the claimed invention. Claims 12-18 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Stobbe et al. (ES 2327115 T3) (hereinafter “Stobbe”) (see attached original document and translation for reference). Regarding Claim 12, Stobbe teaches of a heat exchanger assembly (Fig. 1), comprising: a first stage heat exchange section (first stage heat exchange section comprising elements (20) as shown in Fig. 1) comprising one or more preheater elements (20) (see at least [0090]-[0091] and Figs. 1-2), the one or more preheater elements comprising: one or more intake vanes (intake vanes of elements (1 m), that pass through element (1), that form “a plurality of parallel channels” as shown in Figs. 1-2) (see at least [0091] and Figs. 1-2) defining one or more intakes for a fluid (“air”) (as is shown in Fig. 1 via the flow arrows - see at least [0091] and Figs. 1-2); and one or more guide vanes (2) defining one or more preheat flowpaths (the preheat flowpaths shown via the flow arrows in Fig. 1 that flow through each element (20) via guide vanes (2)) extending radially inward from the one or more intakes toward a centrally located axis (central axis that passes vertically through element (8) as shown in Fig. 1) of the heat exchanger assembly (as is shown in Fig. 1) (see at least [0090]-[0091] and Figs. 1-2), wherein at least one intake vane of the one or more intake vanes comprises a curved intake vane or at least one guide vane of the one or more guide vanes comprises a curved guide vane (the guide vanes (2) are curved as is shown in Figs. 1-2) (see at least [0090]-[0091] and Figs. 1-2); and a centrally disposed second stage heat exchange section (centrally disposed second stage heat exchange section comprising element (8) as shown in Fig. 1) fluidly connected to the one or more preheat flowpaths (as is shown in Fig. 1) to receive the fluid (“air”) from the one or more preheat flowpaths (as is shown in Fig. 1) (see at least [0090]-[0091] and Fig. 1). Regarding Claim 13, Stobbe also teaches that the one or more preheater elements (20) comprises a first preheater element (such as the first top-left element (20) with respect to Fig. 1) and a second preheater element (the second middle-left element (20) with respect to Fig. 1) (see at least [0090]-[0091] and Fig. 1), and wherein the first preheater element is floatably coupled to the second preheater element (Note that in light of the specification, “floatably coupled” is being interpreted as coupled with a limited range of movement therebetween. In the instant case, Stobbe discloses that elements (20) are “mounted close to each other with a small distance 19 between them” (see [0090] and Fig. 1) and accordingly teaches that the first preheater element is coupled with a limited range of movement (i.e., that of (19)) to the second preheater element (see [0090] and Fig. 1). Stobbe accordingly teaches that the first preheater element is floatably coupled to the second preheater element as claimed.). Regarding Claim 14, Stobbe also teaches that the one or more guide vanes (2) define a narrowing preheat flowpath as the preheat flowpath approaches the axis (as is shown in Fig. 1) (see at least [0090]-[0091] and Fig. 1). Regarding Claim 15, Stobbe also teaches that at least one preheater element (20) of the one or more preheater elements (elements (20) as shown in Fig. 1) comprises a lattice structure (element (1) of each of elements (20) forms a lattice structure with a “plurality of parallel channels” that air passes through as shown in Fig. 1) (see at least [0091] and Figs. 1-3). Regarding Claim 16, Stobbe also teaches of a support assembly (the support assembly comprising the vertical support that each element (20) is inserted into that is denoted as (A) in Examiner Annotated Fig. 1 below), and wherein the one or more preheater elements (20) are floatably coupled to the support assembly (Each preheater element (20) is able to be readily slid into and removed from the support assembly via the limited range of movement therebetween needed for installation and/or replacement (see at least [0043], [0050] and Figs. 1-2) and are accordingly floatably coupled to the support assembly as claimed.) (see at least [0043], [0050], Examiner Annotated Fig. 1 and Fig. 2). PNG media_image1.png 664 528 media_image1.png Greyscale Regarding Claim 17, Stobbe also teaches that the second stage heat exchange section comprises an absorber element (9) (see at least [0091] and Fig. 1), and wherein the one or more preheater elements (20) are floatably coupled to the absorber element (preheater elements (20) are coupled to the absorber element (9) with a limited range of movement therebetween via at least element (A) as shown in Examiner Annotated Fig. 1 to form the complete unit as shown in Fig. 1 and are accordingly floatably coupled to the absorber element as claimed) (see at least [0091], Examiner Annotated Fig. 1 and Fig. 2). Regarding Claim 18, Stobbe also teaches that at least one preheater element (20) of the one or more preheater elements (as shown in Figs. 1-2) comprises a base (5) and an upper wall (the upper wall of element (3)), wherein the upper wall slopes downwardly toward the base as the upper wall extends from the one or more intakes toward the axis (as is shown in Figs. 1-2), the upper wall comprising one or more openings (at least the entrance/exit openings of element (3) as shown in Fig. 2) for the fluid to flow through in the respective preheat flowpath (as is shown in Fig. 1) (see at least [0093] and Figs. 1-2). Claim Rejections - 35 USC § 103 The following is a quotation of 35 U.S.C. 103 which forms the basis for all obviousness rejections set forth in this Office action: A patent for a claimed invention may not be obtained, notwithstanding that the claimed invention is not identically disclosed as set forth in section 102, if the differences between the claimed invention and the prior art are such that the claimed invention as a whole would have been obvious before the effective filing date of the claimed invention to a person having ordinary skill in the art to which the claimed invention pertains. Patentability shall not be negated by the manner in which the invention was made. Claims 1-4, 6-11 and 19 are rejected under 35 U.S.C. 103 as being unpatentable over Stobbe in view of Ito (JP 2016017720 A) (see attached original document and translation for reference). Regarding Claim 1, Stobbe teaches of a heat exchanger assembly (Fig. 1), comprising: a first stage heat exchange section (first stage heat exchange section comprising elements (20) as shown in Fig. 1) defining one or more intakes (intakes of elements (1) that flow arrows are flowing into as shown in Fig. 1) for receiving a fluid (“air”) (see at least [0091] and Figs. 1-2), the first stage heat exchange section comprising one or more preheater elements (20) (see at least [0090]-[0091] and Figs. 1-2), the one or more preheater elements defining one or more preheat flowpaths (the preheat flowpaths shown via the flow arrows in Fig. 1 that flow through each element (20)) extending radially inward from the one or more intakes with respect to a centrally disposed axis (central axis that passes vertically through element (8) as shown in Fig. 1) of the heat exchanger assembly (as is shown in Fig. 1) (see at least [0090]-[0091] and Figs. 1-2), the one or more preheater elements (20) comprising one or more guide vanes (2) configured to guide a flow of the fluid in a path (flow path shown via the flow arrows in Fig. 1 that flow through each element (20) to element (8)) from the one or more intakes toward the centrally disposed axis (as is shown in Fig. 1) (see at least [0090]-[0091] and Figs. 1-2); and a centrally disposed second stage heat exchange section (centrally disposed second stage heat exchange section comprising element (8) as shown in Fig. 1) fluidly connected to the one or more preheat flowpaths (as is shown in Fig. 1) to receive the fluid (“air”) from the one or more preheat flowpaths (as is shown in Fig. 1) (see at least [0090]-[0091] and Fig. 1). Stobbe fails to explicitly teach that the one or more guide vanes are configured to guide the flow of the fluid in a spiral path from the one or more intakes toward the centrally disposed axis. Ito discloses a relatable solar receiver system (1) (see at least [0022] and Fig. 1) that comprises a heat exchanger assembly (heat exchanger assembly comprising element (3) as shown in Figs. 1-2) including one or more preheater elements (10) (see at least [0022] and Figs. 1-2, 5-6). The one or more preheater elements (10) comprise one or more guide vanes (guide vanes comprising elements (30) and (52)) (see at least [0034]-[0035] and Figs. 5-6) that are configured to guide a flow of fluid (“airflow”) (see at least [0035], line 1) in a spiral path (the spiral path shown in Fig. 6 that is formed via each “spiral section” of element (52) (see [0035]) with the result being “the hot air A1 and the less hot air A2 flow spirally through the fins 52” (see [0037]) as is shown in Fig. 6) (see at least [0035], [0037] and Figs. 3, 5-6) from one or more intakes (“through holes 21” of each element (20)) (see at least [0025] and Figs. 3, 6) toward a centrally disposed axis (the centrally disposed axis that is present at the exist of element (40)) (see at least [0036]-[0037] and Figs. 1-3, 5-6). Ito teaches that configuring the one or more guide vanes to guide a flow of the fluid in a spiral path from the one or more intakes toward the centrally disposed axis provides the advantage of, at least, providing means for hot air and less hot air coming through the one or more intakes to “mix together and become more uniform in temperature as they flow into the pipe” (see at least [0037] and Figs. 5-6). Thus, it would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to have modified the assembly taught by Stobbe by configuring the existing one or more guide vanes to guide the existing flow of the fluid from the one or more intakes toward the existing centrally disposed axis, in a spiral path, based on the teachings of Ito. Doing so would have provided means for thoroughly mixing together hot air and less hot air coming through the existing one or more intakes such that the resulting airflow would become more uniform in temperature and thus more consistent for use thereafter. Note that such modification would have necessarily resulted in the invention as claimed. Regarding Claim 2, Ito also teaches that the at least one guide vane (guide vane comprising element (52)) of the one or more guide vanes that would be used in the combined assembly (see at least [0034]-[0035], Figs. 5-6 and the rejection for Claim 1 above) is a curved guide vane (via at least each “spiral section” as is shown in Fig. 5) (see at least [0035] and Figs. 5-6). Thus, the combination of Stobbe and Ito would have necessarily resulted in the invention as claimed. Regarding Claim 3, Stobbe also teaches that at least one preheater element (20) of the one or more preheater elements (elements (20) as shown in Fig. 1) comprises a lattice structure (element (1) of each of elements (20) forms a lattice structure with a “plurality of parallel channels” that air passes through as shown in Fig. 1) (see at least [0091] and Figs. 1-3). Regarding Claim 4, Stobbe also teaches that the one or more intakes (intakes of elements (1) that flow arrows are flowing into as shown in Fig. 1) are defined by one or more intake vanes (intake vanes of elements (1 m), that pass through element (1), that form “a plurality of parallel channels” as shown in Figs. 1-2) (see at least [0091] and Figs. 1-2). Regarding Claim 6, Stobbe also teaches that a spacing between the one or more intake vanes is uniform (as is shown in Figs. 1-2 and evident from the disclosure that the intake vanes of elements (1 m), that pass through element (1), form “a plurality of parallel channels” - see at least [0091] and Figs. 1-2). Regarding Claim 7, Stobbe also teaches that the first stage heat exchange section further comprises a solar window (Note that a “solar window” is being interpreted as an opening and/or area through which solar rays can pass. In the instant case, the opening area that houses elements (20) to thereby expose elements (1) to solar rays in the form of “incident solar flux” as shown in Fig. 1 (see at least [0091] and Figs. 1-2) forms an opening and/or area through which solar rays can pass (see at least [0091] and Figs. 1-2) and accordingly constitutes a “solar window” as claimed), and wherein the one or more intakes are disposed at or near a periphery of the solar window (the one or more intakes are disposed at the periphery of the window as shown in Fig. 1) (see at least [0091] and Figs. 1-2). Regarding Claim 8, Stobbe also teaches that the one or more guide vanes (2) define a narrowing preheat flowpath as the preheat flowpath approaches the axis (as is shown in Fig. 1) (see at least [0090]-[0091] and Fig. 1). Regarding Claim 9, Stobbe also teaches that the one or more preheater elements (20) comprises a first preheater element (such as the first top-left element (20) with respect to Fig. 1) and a second preheater element (the second middle-left element (20) with respect to Fig. 1) (see at least [0090]-[0091] and Fig. 1), and wherein the first preheater element is floatably coupled to the second preheater element (Note that in light of the specification, “floatably coupled” is being interpreted as coupled with a limited range of movement therebetween. In the instant case, Stobbe discloses that elements (20) are “mounted close to each other with a small distance 19 between them” (see [0090] and Fig. 1) and accordingly teaches that the first preheater element is coupled with a limited range of movement (i.e., that of (19)) to the second preheater element (see [0090] and Fig. 1). Stobbe accordingly teaches that the first preheater element is floatably coupled to the second preheater element as claimed.). Regarding Claim 10, Stobbe also teaches that the first stage heat exchange section (first stage heat exchange section comprising elements (20) as shown in Fig. 1) comprises a support assembly (the support assembly comprising the vertical support that each element (20) is inserted into that is denoted as (A) in Examiner Annotated Fig. 1), and wherein the one or more preheater elements (20) are floatably coupled to the support assembly (Each preheater element (20) is able to be readily slid into and removed from the support assembly via the limited range of movement therebetween needed for installation and/or replacement (see at least [0043], [0050] and Figs. 1-2) and are accordingly floatably coupled to the support assembly as claimed.) (see at least [0043], [0050], Examiner Annotated Fig. 1 and Fig. 2). Regarding Claim 11, Stobbe also teaches that the second stage heat exchange section comprises an absorber element (9) defining an axial flowpath (as is shown in Fig. 1) (see at least [0091] and Fig. 1), and wherein the one or more preheater elements (20) are floatably coupled to the absorber element (preheater elements (20) are coupled to the absorber element (9) with a limited range of movement therebetween via at least element (A) as shown in Examiner Annotated Fig. 1 to form the complete unit as shown in Fig. 1 and are accordingly floatably coupled to the absorber element as claimed) (see at least [0091], Examiner Annotated Fig. 1 and Fig. 2). Regarding Claim 19, Stobbe teaches of a method of manufacturing a heat exchanger assembly (heat exchanger assembly of Fig. 1), the method comprising: forming one or more preheater elements (20) (see at least [0091] and Figs. 1-2), the one or more preheater elements (20) comprising one or more inlet ends (the inlet ends at elements (1) that are intaking flow arrows as shown in Fig. 1) and one or more outlet ends (5) (see at least [0091] and Figs. 1-2), the one or more preheater elements (20) defining one or more intakes (1 m) at the one or more inlet ends for receiving a fluid (“air”) (see at least [0091], [0093] and Figs. 1-2), the one or more preheater elements further defining one or more preheat flowpaths (the preheat flow paths shown via the flow arrows in Fig. 1 that flow through each element (20)) extending from the one or more intakes to the one or more outlet ends (as is shown in Fig. 1) (see at least [0091] and Figs. 1-2), the one or more preheater elements (20) comprising one or more guide vanes (2) configured to guide a flow of the fluid in a path (flow path shown via the flow arrows in Fig. 1 that flow through each element (20)) from the one or more intakes toward the one or more outlet ends (as is shown in Fig. 1) (see at least [0090]-[0091] and Figs. 1-2); and coupling the one or more preheater elements (20) to a support assembly (A) (see Examiner Annotated Fig. 1) in a radial arrangement with respect to a centrally located axis (central axis that passes vertically through element (8) as shown in Fig. 1) of the heat exchanger assembly (as is shown in Fig. 1) (see at least [0090]-[0091] and Figs. 1-2). Stobbe fails to explicitly teach that the one or more guide vanes are configured to guide the flow of the fluid in a spiral path from the one or more intakes toward the one or more outlet ends. Ito discloses a relatable solar receiver system (1) (see at least [0022] and Fig. 1), and method of manufacturing the same (see at least Abstract and Figs. 1, 3 and 5-6), that comprises a heat exchanger assembly (heat exchanger assembly comprising element (3) as shown in Figs. 1-2) including one or more preheater elements (10) (see at least [0022] and Figs. 1-2, 5-6). The one or more preheater elements (10) comprise one or more guide vanes (guide vanes comprising elements (30) and (52)) (see at least [0034]-[0035] and Figs. 5-6) that are configured to guide a flow of fluid (“airflow”) (see at least [0035], line 1) in a spiral path (the spiral path shown in Fig. 6 that is formed via each “spiral section” of element (52) (see [0035]) with the result being “the hot air A1 and the less hot air A2 flow spirally through the fins 52” (see [0037]) as is shown in Fig. 6) (see at least [0035], [0037] and Figs. 3, 5-6) from one or more intakes (“through holes 21” of each element (20)) (see at least [0025] and Figs. 3, 6) toward one or more outlet ends (outlet end of each element (40) as shown in Figs. 5-6) (see at least [0036]-[0037] and Figs. 1-3, 5-6). Ito teaches that configuring the one or more guide vanes to guide a flow of the fluid in a spiral path from the one or more intakes toward the one or more outlet ends provides the advantage of, at least, providing means for hot air and less hot air coming through the one or more intakes to “mix together and become more uniform in temperature as they flow into the pipe” (see at least [0037] and Figs. 5-6). Thus, it would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to have modified the method taught by Stobbe by configuring the existing one or more guide vanes to guide the existing flow of the fluid from the one or more intakes toward the one or more outlets, in a spiral path, based on the teachings of Ito. Doing so would have provided means for thoroughly mixing together hot air and less hot air coming through the existing one or more intakes such that the resulting airflow would become more uniform in temperature and thus more consistent for use thereafter. Note that such modification would have necessarily resulted in the invention as claimed. Claim 5 is rejected under 35 U.S.C. 103 as being unpatentable over Stobbe and Ito further in view of De Riccardis Andrea et al. (WO 2019/073461 A1) (hereinafter “Riccardis”) (see attached original document for reference). Regarding Claim 5, Stobbe and Ito teach the heat exchanger assembly of claim 4 (see the rejection for claim 4) but fail to explicitly teach that at least one intake vane of the one or more intake vanes is a curved intake vane. Riccardis discloses a relatable solar receiver system (Fig. 12) (see at least Abstract and Figs. 12-13) that comprises a heat exchanger assembly (heat exchanger assembly comprising element (1) as shown in Figs. 12-13) including one or more preheater elements (18) (see at least pg. 14 lines 13-24 and Figs. 12-13). The one or more preheater elements (18) comprise a plurality of intake vanes (intake vanes (19) that intake air and sun as shown in Figs. 12-13) (see at least pg. 14 lines 21-27 and Figs. 12-13), where the intake vanes (19) are curved (“curved”) (see at least pg. 14 line 25 and Figs. 13-14). Riccardis teaches that configuring the intake vanes to be curved, inter alia, helps facilitate “concentration of the light rays” (see at least pg. 15 lines 1-2 and Figs. 13-14). Thus, it would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to have further modified the combined assembly by configuring at least one intake vane of the existing one or more intake vanes to be a curved intake vane based on the teachings of Riccardis. Doing so would have helped facilitate the concentration of light rays. Note that such modification would have necessarily resulted in the invention as claimed. Claim 20 is rejected under 35 U.S.C. 103 as being unpatentable over Stobbe and Ito further in view of Alberti et al. (WO 2017/060882 A1) (hereinafter “Alberti”). Regarding Claim 20, Stobbe and Ito teach the method of Claim 19 (see the rejection for Claim 19) but fail to explicitly teach of additively manufacturing the one or more preheater elements. Alberti discloses a relatable solar receiver system (Fig. 8) that comprises a heat exchanger assembly (heat exchanger assembly comprising receiver element (200) that receives radiation (R) as shown in Figs. 5, 8) including one or more preheater elements (1) (see at least pg. 13 lines 20-23, pg. 17 lines 13-15 and Figs. 5, 8). Alberti teaches that the entire heat exchanger, including the preheater elements (1), are “manufactured by means of additive manufacturing techniques” (see at least pg. 17 lines 13-15 and Figs. 5, 8) and that doing so enables the entire heat exchanger to be “produced quickly and easily” (see at least pg. 14 lines 21-24 and Fig. 5). Thus, it would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to have further modified the combined method by configuring the method to include additively manufacturing the entire heat exchanger assembly including the existing one or more preheater elements based on the teachings of Alberti. Doing so would have enabled the entire heat exchanger, including the preheater elements thereof, to be produced quickly and easily. Note that such modification would have necessarily resulted in the invention as claimed. Conclusion The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. The following prior art is considered relevant to this application in terms of structure and use: Wang et al. (US 9,605,660 B2) Zhou (US 2010/0073921 A1) Campbell (US 4,513,731) Any inquiry concerning this communication or earlier communications from the examiner should be directed to BENJAMIN W JOHNSON whose telephone number is (571)272-8523. The examiner can normally be reached M-F, 7:30-5:00 PM. Examiner interviews are available via telephone, in-person, and video conferencing using a USPTO supplied web-based collaboration tool. To schedule an interview, applicant is encouraged to use the USPTO Automated Interview Request (AIR) at http://www.uspto.gov/interviewpractice. If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, Helena Kosanovic can be reached at 571-272-9059. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300. Information regarding the status of published or unpublished applications may be obtained from Patent Center. Unpublished application information in Patent Center is available to registered users. To file and manage patent submissions in Patent Center, visit: https://patentcenter.uspto.gov. Visit https://www.uspto.gov/patents/apply/patent-center for more information about Patent Center and https://www.uspto.gov/patents/docx for information about filing in DOCX format. For additional questions, contact the Electronic Business Center (EBC) at 866-217-9197 (toll-free). If you would like assistance from a USPTO Customer Service Representative, call 800-786-9199 (IN USA OR CANADA) or 571-272-1000. /BENJAMIN W JOHNSON/Examiner, Art Unit 3762 6/23/2026 /HELENA KOSANOVIC/Supervisory Patent Examiner, Art Unit 3762
Read full office action

Prosecution Timeline

Jun 10, 2024
Application Filed
Jul 01, 2026
Non-Final Rejection mailed — §102, §103 (current)

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Prosecution Projections

1-2
Expected OA Rounds
62%
Grant Probability
99%
With Interview (+45.0%)
3y 2m (~1y 1m remaining)
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